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A recent docket update by the Southern District of New York suggests that Andrew Simon, a Manhattan-based commercial real estate broker charged in 2017 with conspiring to violate the FCPA, has pleaded guilty under seal and is scheduled to be sentenced later this month.

The U.S. Supreme Court issued its highly anticipated opinion in Kokesh v. SEC Monday, unanimously holding that the SEC’s use of disgorgement operates as a penalty under federal law and is therefore not freed from the five-year statute of limitations.

In a key development of relevance to the FCPA bar, the U.S. Supreme Court Friday accepted cert in Kokesh v. SEC (16-529). The issue presented in the cert petition is: “Whether the five-year statute of limitations in 28 U.S.C. § 2462 applies to claims for ‘disgorgement.’”

Last month the United States Court of Appeals for the Eleventh Circuit held in SEC. v. Graham et al that the five-year statute of limitations in 28 USC §2462 applies to SEC claims for disgorgement or declaratory relief.

The following summarizes the “FCPA Docket” for individuals, which includes all known FCPA-related ongoing prosecutions, fugitives, sentencings, and pending appeals. This information is current as of March 4, 2016.

Several articles over the past few days have reported that the DOJ and SEC are quietly revising A Resource Guide to the FCPA, the joint guidance the agencies issued on November 14, 2012, including one article that suggested these revisions occurred as recently as June of this year (see also here and here). In fact, the more substantive of the changes flagged by these articles were made on or before December 9, 2012, less than 30 days after the release of the Guide, in response to feedback practitioners provided to the agencies.

As reported by the FCPA Blog on Tuesday, infant formula manufacturer Mead Johnson Nutrition Co. entered into a settlement with the SEC, agreeing to pay just over $12 million to resolve allegations that it violated the FCPA’s accounting provisions.

The following summarizes the “FCPA Docket” for individuals, which includes all known FCPA-related ongoing prosecutions, fugitives, sentencings, and pending appeals. This information is current as of February 24, 2015.

The list below tracks the current “FCPA Docket” for individuals, which includes all known FCPA-related ongoing prosecutions, fugitives, pending sentencings, and pending appeals. This information is current as of February 14, 2014.

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